The Managing Compensation Related Conflicts of Interest course will help you understand the historical context of conflicts of interest in the investment industry while developing your understanding of the requirements under recent regulatory changes (such as the Client Relationship Model). It will provide a framework to help you understand how conflict requirements and considerations are reflected in existing rules and how to apply those standards in your day-to-day activities.
The course also explores how conflicts continue to be a focus area for regulators and underpin many regulatory initiatives, including those involving a best interests standard, mutual fund fees, fee-based accounts, personal financial dealings, and others.
Managing Compensation Related Conflicts of Interest is designed for financial professionals including investment advisors, and compliance personnel. It is recommended for individuals that are subject to CE compliance requirements, and for professional development.